Broker-Dealers

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Goldman Employees Reaped $2 Billion From 2008 Options Last Year

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While Goldman Sachs Group Inc. employees may get less compensation than in the past, many cashed in last year for a payday they’ve been awaiting since the depths of the financial crisis.

First Allied Teams Up With Tambaro Financial Services

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First Allied Securities will provide broker-dealer and custodial services to the newly created enterprise founded by Art Tambaro, former CEO of Royal Alliance.

Cetera Partners With Envestnet On Retirement Platform

by FA Staff

Cetera Financial Group is partnering with Envestnet to build out a retirement plan platform across its network of nine different broker-dealers.

Charles Schwab Says It Seeks New CFO

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Charles Schwab Corp. is searching for a new CFO and is weeks away from introducing its ETF robo-advisor platform, says CEO Walt Bettinger.

Raymond James Recruits Advisor From Edward Jones

by FA Staff

Billy Belcher has joined the firm in Texas. 


UBS Drove Brokers To Sell High-Risk Puerto Rico Funds, Recording Shows

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In April 2011, two years before their prices sank, a slew of bond funds that were being sold by UBS's Puerto Rico arm appeared to its brokers to be such risky investments that they balked at...

Cetera Financial Institutions Hires VP Of Business Development

by FA Staff

Kyle Hallman will lead recruitment of bank’s investment programs in the eastern part of U.S.

Services For Self-Directed Investors Continues To Expand

by FA Staff

The number of investment do-it-yourselfers is growing faster than the number of investors seeking professional help, says a new report.

Ex-Merrill Lynch Exec Tries To Make Focus Financial Household Name

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Chris Dupuy is poised to pitch top advisors about joining Focus Financial, but he faces one key challenge: Many of them don't know the name.

Independents To Top Wirehouses In Asset Market Share By ’19

by FA Staff

The combined asset market share among independent advisor channels should top that of the wirehouses in the next four years, Cerulli says.

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